TREATIES AND OTHER INTERNATIONAL ACTS SERIES 13-1009

________________________________________________________________________

NUCLEAR SAFETY 

Arrangement Between the 

UNITED STATES OF AMERICA

and INDIA

Signed at Rockville and Mumbai

September 26 and October 9, 2013

with

Addenda and Annex
 NOTE BY THE DEPARTMENT OF STATE

 Pursuant to Public Law 89—497, approved July 8, 1966

(80 Stat. 271; 1 U.S.C. 113)—

“. . .the Treaties and Other International Acts Series issued

under the authority of the Secretary of State shall be competent

evidence . . . of the treaties, international agreements other than

treaties, and proclamations by the President of such treaties and

international agreements other than treaties, as the case may be, 

therein contained, in all the courts of law and equity and of maritime

jurisdiction, and in all the tribunals and public offices of the

United States, and of the several States, without any further proof

or authentication thereof.”
 INDIA

 Nuclear Safety

 Arrangement signed at Rockville and Mumbai

 September 26 and October 9, 2013;

 Entered into force October 9, 2013.

 With addenda and annex.
ARRANGEMENT

BETWEEN

THE UNITED STATES

NUCLEAR REGULATORY COMMISSION

AND

THE

ATOMIC ENERGY REGULATORY BOARD

OF INDIA

FOR THE EXCHANGE OF TECHNICAL

INFORMATION AND COOPERATION IN NUCLEAR

SAFETY MATTERS
ARRANGEMENT

BETWEEN

THE UNITED STATES NUCLEAR REGULATORY COMMISSION

AND

THE ATOMIC ENERGY REGULATORY BOARD OF INDIA

FOR

THE EXCHANGE OF TECHNICAL INFORMATION

AND

COOPERATION IN NUCLEAR SAFETY MATTERS

The United States Nuclear Regulatory Commission (hereinafter the USNRC) and the

Atomic Energy Regulatory Board of India (hereinafter the AERB), both hereinafter the Parties;

Having a mutual interest in an exchange of information pertaining to regulatory matters

and of standards required or recommended by their organizations for the regulation of safety of

nuclear facilities;

Acknowledging the Agreement For Cooperation between the Government of the United

States of America and the Government of India Concerning the Peaceful Uses of Nuclear

Energy, which was signed at Washington on October 10, 2008;

Having indicated a desire to cooperate under the terms of a five-year Arrangement for

the Exchange of Technical Information and Cooperation in Nuclear Safety Matters;

Have agreed as follows:
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I. SCOPE OF THE ARRANGEMENT

A. Technical Information Exchange

To the extent that the USNRC and the AERB are permitted to do so under the laws,

regulations, and policy directives of their respective countries, the Parties shall exchange

the following types of unclassified technical information relating to the regulation of

safety, waste management, and environmental impact of designated nuclear energy

facilities and to nuclear safety research programs:

1. Topical reports concerning safety and radiation protection, spent fuel and waste

management, decommissioning, and environmental effects written by or for one

of the Parties as a basis for, or in support of, regulatory decisions and policies.

2. Documents relating to significant licensing actions and safety and environmental

decisions affecting nuclear facilities.

3. Detailed documents describing the process for licensing, regulating and

decommissioning certain similar nuclear facilities being built or planned or

decommissioned in both Parties' countries.

4. Exchange of views on international cooperation in the field of nuclear safety and

radiation protection.

5. Information in the field of nuclear safety research that the Parties have the right

to disclose, either in the possession of one of the Parties or available to it.

Cooperation in research areas shall require a separate agreement. Each Party

shall transmit immediately to the other Party information concerning research

results that requires early attention in the interest of public safety, along with an

indication of significant implications.

6. Reports on operating experience, such as reports on nuclear incidents, accidents

and shutdowns, and compilations of historical reliability data on components and

systems.

7. Regulatory procedures for the safety and radiation protection, physical

protection, spent fuel and waste management, decommissioning, and

environmental impact evaluation of nuclear facilities.

8. Early advice of important events, such as serious operating incidents and

government-directed reactor shutdowns that are of immediate interest to the

Parties.

9. Copies of regulatory standards required to be used, or proposed for use, by

either Party.

10. Each Party shall be prepared to the best of its ability, upon specific request, to

advise the other on particular questions relating to reactor safety and radiation

protection, spent fuel and waste management, decommissioning, and

environmental impact of designated nuclear facilities.
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In India, the above exchanges will only deal with India's civil nuclear facilities, materials, and

programs that are safeguarded.

B. Cooperation in Safety Research

The terms of cooperation for joint programs and projects in nuclear safety research and

development, or those programs and projects under which activities are divided between

the two Parties, including the use of test facilities and/or computer programs owned by

either Party, shall be considered on a case-by-case basis and shall be the subject of a

separate agreement if determined to be necessary by the research organizations of one

or both Parties. Technical areas specified by such agreements may be modified

subsequently by mutual consent. Temporary assignments of personnel by one Party in

the other Party's agency shall also be considered on a case-by-case basis and shall

require a separate agreement.

C. Training and Assignments

Within the limits of available resources and subject to the availability of appropriated

funds, the USNRC and AERB shall cooperate with each other in providing certain training

and experience for safety personnel. Unless otherwise agreed, costs of salary,

allowances, and travel of participants shall be paid by the sending Party. The following

are typical of, but not necessarily restricted to, the kinds training and experience that may

be provided:

1. AERB designated inspector accompaniment of USN RC inspectors on reactor

operation and reactor construction inspection visits in the United States,

including extended briefings at USNRC regional inspection offices.

2. Participation of staff in training courses.

3. Assignment of experts for certain periods to be determined by the Parties to

work on staff duties of the regulatory body and gain on the job experience.

4. Training assignments of the staff of oneParty within the radiation control

program in the other Party's country.

II. ADMINISTRATION

A. The exchange of information under this Arrangement shall be accomplished through

letters, reports, and other documents, and by visits and meetings arranged in advance

on a case-by-case basis. A meeting shall be held annually, or at such other times as

mutually agreed, to review the exchange of information and cooperation under this

Arrangement, to recommend revisions to the Arrangement, and to discuss topics coming

within the scope of the cooperation. The time, place, and agenda for such meetings

shall be agreed upon in advance. Visits that take place under the Arrangement, including

their schedules, shall have the prior approval of the two administrators referred to in

Article II.B.
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B. An administrator shall be designated by each Party to coordinate its participation in the

overall exchange. The administrators shall be the recipients of a I I documents

transmitted under the exchange, including copies of all letters, unless otherwise agreed.

Within the terms of the exchange, the administrators shall be responsible for developing

the scope of the exchange, including agreement on the designation of the nuclear

energy facilities subject to the exchange, and on specific documents and standards to be

exchanged. One or more technical coordinators may be appointed as direct contacts for

specific disciplinary areas. These technical coordinators shall ensure that both

administrators receive copies of all transmittals. These detailed arrangements are

intended to ensure, among other things, that a reasonably balanced exchange giving

access to equivalent available information from both sides is achieved and maintained.

C. The administrators shall determine the number of copies to be provided of the

documents exchanged. Each document shall be accompanied by an abstract in English,

250 words or less, describing its scope and content.

D. The application or use of any information exchanged or transferred between the Parties

under this Arrangement shall be the responsibility of the receiving Party, and the

transmitting Party does not warrant the suitability of such information for any particular

use or application.

E. Recognizing that some information of the type covered in this Arrangement is not

available within the agencies that are Parties to this Arrangement but is available from

other agencies of the governments of the Parties, each Party shall assist the other to the

maximum extent possible by organizing visits and directing inquiries concerning such

information to appropriate agencies of the government concerned. The foregoing shall

not constitute a commitment of other agencies to furnish such information or to receive

such visitors.

F. Nothing contained in this Arrangement shall require either Party to take any action that

would be inconsistent with its country's existing laws, regulations, and policy directives.

Should any conflict arise between the terms of this Arrangement and those laws,

regulations, and policy directives, the Parties shall consult before any action is taken.

No nuclear information related to proliferation-sensitive technologies shall be exchanged

under this Arrangement.

G. Cooperation under this Arrangement shall be in accordance with the laws and

regulations of the Parties' respective countries. Any dispute or questions between the

Parties concerning the interpretation or application of this Arrangement shall be settled

by mutual agreement of the Parties.

H. Unless otherwise agreed, all costs resulting from cooperation pursuant to the

Arrangement shall be the responsibility of the Party that incurs them. The ability of the

Parties to carry out their obligations is subject to the appropriation of funds by the

appropriate governmental authority and to policies, laws and regulations applicable to

the Parties.
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III. EXCHANGE AND USE OF INFORMATION

A. General

The Parties support the widest possible dissemination of information provided, created

or exchanged under this Arrangement, subject to the requirements of each Party's

national laws, regulations, and policies and the need to protect proprietary and other

confidential or privileged information, and subject to the provisions of the Intellectual

Property Annex, which is an integral part of this Arrangement.

B. Definitions

1. The term "information" means unclassified nuclear energy-related regulatory,

safety, safeguards, waste management, scientific, or technical data, including

information on results or methods of confirmatory assessment, research, and any

other knowledge provided, created or exchanged under this Arrangement.

2. The term "proprietary information" means information created or exchanged

under this Arrangement that contains trade secrets or other privileged or

confidential commercial information (such that the person having the information

may derive a commercial benefit from it or may have a commercial advantage

over those who do not have it), and may only include information which:

(a) has been held in confidence by its owner;

(b) is of a type that is customarily held in confidence by its owner;

(c) has been transmitted by the owner to other entities (including the

receiving Party) on the basis that it be held in confidence;

(d) is not otherwise available to the receiving Party from another

source without restriction on its further dissemination; and

(e) is not already in the possession of the receiving Party.

3. The term "other confidential or privileged information" means non-classified

information, other than "proprietary information," that has been transmitted and

received in confidence under this Arrangement and is protected from public

disclosure under the laws, regulations, or policies of the country of the Party

providing the information, or is otherwise restricted by the provider or has been

transmitted and received in confidence.

4. The term 'Consultant' includes Technical Support Organisations of either Party.

C. Marking Procedures for Documentary Proprietary Information

A Party receiving documentary proprietary information pursuant to this Arrangement

shall respect the privileged nature of such information, provided that such proprietary

information is clearly marked with the following (or substantially similar) restrictive

legend:

"This document contains proprietary information furnished in confidence

under an Arrangement dated (Date of this Arrangement) between the United

StatesNuclear Regulatory Commission and the Atomic Energy Regulatory

Board of India and shall not be disseminated outside these organizations,
6

their consultants, contractors, and licensees, or concerned departments

and agencies of the Government of the United States and the

Government of India, without the prior written approval of name of

transmitting Party).

"This notice shall be marked on each page of any reproduction hereof, in

whole or in part. These limitations shall automatically terminate when the

proprietary information is disclosed by the owner without restriction.

This restrictive legend shall be respected by the Parties to this Arrangement. Proprietary

information bearing this restrictive legend shall not be made public or otherwise

disseminated in any manner unspecified or contrary to the terms of this Arrangement

without the prior written consent of the transmitting Party. Proprietary information bearing

this restrictive legend shall not be used by the receiving Party or its contractors and

consultants for any commercial purposes without the prior written consent of the

transmitting Party.

D. Dissemination of Documentary Proprietary Information

1. In general, proprietary information received under this Arrangement may

be disseminated by the receiving Party without prior consent to persons within or

employed by the receiving Party, and to concerned Government departments

and Government agencies in the country of the receiving Party, provided:

(a) such dissemination is made on a case-by-case basis to persons or

departments and agencies;

(b) such proprietary information shall bear the restrictive legend

appearing in Section III.0 of this Arrangement.

2. Proprietary information received under this Arrangement may be disseminated by

the receiving Party without prior consent to contractors and consultants of the

receiving Party located within the geographical limits of that Party's territory,

provided:

(a) that the proprietary information is used by such contractors and

consultants only for work within the scope of their contracts with the

receiving Party relating to the subject matter of the proprietary

information, and shall not be used by such contractors and consultants for

any private commercial purposes; and

(b) that such dissemination is made on a case-by-case basis to contractors

and consultants who have executed a non-disclosure agreement; and

(c) that such proprietary information shall bear the restrictive legend

appearing in Section III.0 of this Arrangement.

3. With the prior written consent of the Party furnishing proprietary information

under this Arrangement, the receiving Party may disseminate such proprietary

information more widely than otherwise permitted under the terms set forth in this

Arrangement. The Parties shall endeavor to grant such approval to the extent

permitted by their respective national laws, regulations and policies, provided:
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(a) that the entities receiving proprietary information under

Section III.D of this Arrangement, including domestic organizations

permitted or licensed by the receiving Party to construct or operate

nuclear production or utilization facilities, or to use nuclear materials and

radiation sources have executed a non-disclosure agreement; and

(b) that the entities receiving proprietary information under

Section III.D of this Arrangement, including domestic organizations

permitted or licensed by the receiving Party to construct or operate

nuclear production or utilization facilities, shall not use such proprietary

information for any private commercial purposes; and

(c) that those entities receiving proprietary information under

Section III.D of this Arrangement that are domestic organizations

permitted or licensed by the receiving Party agree to use the proprietary

information only for activities carried out under or within the terms of their

specific permit or license.

E. Marking Procedures for Other Confidential or Privileged Information of a Documentary

Nature 

A Party receiving under this Arrangement other confidential or privileged information

shall respect its confidential nature, provided such information is clearly marked so as to

indicate its confidential or privileged nature and is accompanied by a statement

indicating:

1. that the information is protected from public disclosure by the Government of the

transmitting Party; and

2. that the information is transmitted under the condition that it be maintained in

confidence.

F. Dissemination of Other Confidential or Privileged Information of a Documentary Nature 

Other confidential or privileged information shall be disseminated in the same manner as

that set forth in Section III.D, "Dissemination of Documentary Proprietary Information."

G. Non-Documentary Proprietary or Other Confidential or Privileged Information 

Non-documentary proprietary or other confidential or privileged information provided in

seminars and other meetings organized under this Arrangement, or information arising

from the attachments of staff, use of facilities, or joint projects, shall be treated by the

Parties according to the principles specified for documentary information in this

Arrangement; provided, however, that the Party communicating such proprietary or other

confidential or privileged information has placed the recipient on notice as to the

character and also to the limits and content of the information communicated and

the other Party has acknowledged receipt of such information.
an

DATE: 914. b-el 012

PLACE: Mumbai, India

Alliso Macfarlane, Chairman

DATE: c (2 ( (3

PLACE: Rockville, Maryland

CERT., IED A TRUE OPY

BY Office of the Secretary

reasonably be expected to become, unable to meet the non-dissemination provisions

of this Arrangement, it shall immediately inform the other Party. The Parties shall

thereafter consult to define an appropriate course of action.

Other

Nothing contained in this Arrangement shall preclude a Party from using or

disseminating information received without restriction by a Party from sources outside

of this Arrangement.

IV. FINAL PROVISIONS

A. This Arrangement shall enter into force upon signature and, subject to Section IV.C.,

shall remain in force for a period of five years. It may be extended for a further period

of time by written agreement of the Parties.

B. Either Party may terminate this Arrangement by providing the other Party

written notice at least 180 days prior to its intended date of termination.

C. All information protected by provisions of this Arrangement as proprietary or other

confidential or privileged information shall remain so protected for the duration of this

Arrangement and indefinitely after this Arrangement has expired or been terminated,

unless otherwise agreed by the Parties in writing.

D. Nothing contained in this Arrangement shall require either Party to take any action

which would be inconsistent with its national laws, regulations, and policy directives.

E. Should any conflict arise between the terms of this Arrangement and those laws,

regulations, and policy directives the Parties agree to consult before any action is taken.

FOR THE ATOMIC ENERGY REGULATORY FOR THE UNITED STATES

BOARD OF INDIA NUCLEAR REGULATORY

COMMISSION
Addendum A

USNRC — AERB Nuclear Safety Research Exchange

Areas In Which the USNRC Is Performing or Sponsoring Safety Research

1. Digital Instrumentation and Control

2. Reactor and Electrical Equipment Qualification

3. Environmental Transport

4. Radionuclide Transport and Waste Management

5. Dry Cask Storage and Transport

6. Fire Safety Research

7. Nuclear Fuel Analysis

8. Severe Accident Analysis

9. Operating Experience and Generic Issues

10. Human Factors Engineering

11. Organizational Factors/Safety Culture

12. Human Reliability Analysis (HRA)

13. Probabilistic Risk Assessments

14. Radiation Protection and Health Effects

15. Seismic Safety

16. State of the Art Risk Consequences

17. Reactor Containment Structural Safety

18. Reactor Vessel and Piping Integrity

19. Regulatory Guide Update

20. New and Advanced Reactor Designs

21. Decommissioning

22. Thermal Hydraulic Code Applications and Maintenance

23. Uncertainty Analysis for Thermal Hydraulic Kinetics

24. Coupled 3D Neutronic and Plant Thermal Hydraulics

25. Medical Isotope Production

26. Long-term Operational Management

27. Plant and Systems Operations
Addendum B

AERB - USNRC Nuclear Safety Research Exchange

Areas in Which the AERB is Performing or Sponsoring Safety Research

1. Fire Safety Research

2. Severe Accident Analysis

3. Human Reliability Analysis (HRA)

4. Probabilistic Risk Assessments

5. Seismic Safety

6. Reactor Containment Structural Safety

7. Piping Integrity

8. Regulatory Guide Update

9. New and Advanced Reactor Designs

10. Coupled 3D Neutronic and Plant Thermal Hydraulics

11. Dry cask storage and transport

12. Operating Experience feedback

13. Uncertainty in thermal hydraulic safety analyses

14. Radionuclide Transport and Waste management Studies

15. Hydrogen management

16. Source term estimation

17. Passive System studies

18. Tsunami hazard assessment

19. Ageing management of concrete structures
ANNEX

Intellectual Property Rights

I. General Obligation

The Parties shall ensure adequate and effective protection of intellectual property created or

furnished under this Arrangement and relevant implementing arrangements. Rights to such

intellectual property shall be allocated as provided in this Annex.

II.Scope

A. This Annex is applicable to all cooperative activities undertaken pursuant to

this Arrangement, except as otherwise specifically agreed by the Parties or

their designees.

B. For purposes of this Arrangement, "intellectual property" shall mean the

subject matter listed in Article 2 of the Convention Establishing the World

Intellectual Property Organization, done at Stockholm, July 14, 1967 and

may include other subject matter as agreed by the Parties.

C. Each Party shall ensure, through contracts or other legal means with its

own participants, if necessary, that the other Party can obtain the rights to

intellectual property allocated in accordance with this Annex. This Annex

does not otherwise alter or prejudice the allocation between a Party and its

nationals, which shall be determined by that Party's laws and practices.

D. Except as otherwise provided in this Arrangement, disputes concerning

intellectual property arising under this Arrangement shall be resolved

through discussions between the concerned participating institutions, or, if

necessary, the Parties or their designees. Upon mutual agreement of the

Parties, a dispute shall be submitted to an arbitral tribunal for binding

arbitration in accordance with the applicable rules of international law.

Unless the Parties or their designees agree otherwise in writing, the

arbitration rules of United Nations Commission on International Trade Law

(UNCITRAL) shall govern.

E. Termination or expiration of this Arrangement shall not affect rights or

obligations under this Annex.

Ill. Allocation of Rights

A. Each Party shall be entitled to a non-exclusive, irrevocable, royalty-free

license in all countries to translate, reproduce, and publicly distribute

scientific and technical journal articles, reports, and books directly arising

from cooperation under this Arrangement. All publicly distributed copies of

a copyrighted work prepared under this provision shall indicate the names

of the authors of the work unless an author explicitly declines to be named.

B. Rights to all forms of intellectual property, other than those rights described

in paragraph IIIA above, shall be allocated as follows:
(1) Visiting researchers shall receive rights, awards, bonuses and

royalties in accordance with the policies of the host institution.

(2) (a) Any intellectual property created by persons employed or

sponsored by one Party under cooperative activities other than

those covered by paragraph III.(B)(1) shall be owned by that Party.

Intellectual property created by persons employed or sponsored by

both Parties shall be jointly owned by the Parties. In addition,

each creator shall be entitled to awards, bonuses and royalties in

accordance with the policies of the institution employing or

sponsoring that person.

(b) Unless otherwise agreed in an implementing or other

arrangement, each Party shall have within its territory all rights to

exploit or license intellectual property created in the course of the

cooperative activities.

(c) The rights of a Party outside its territory shall be determined by mutual agreement

considering the relative contributions of the Parties and their participants to the

cooperative activities, the degree of commitment in obtaining legal protection and

licensing of the intellectual property and such other factors deemed appropriate.

(d) Notwithstanding paragraphs III.B(2)(a) and (b) above, if a particular project has led to

the creation of intellectual property protected by the laws of one Party but not the

other, the Party whose laws provide for this type of protection shall be entitled to all

rights to exploit or license intellectual property worldwide although creators of

intellectual property shall nonetheless be entitled to awards, bonuses and royalties

as provided in paragraph III.B(2)(a).

(e) For each invention made under any cooperative activity, the Party employing or

sponsoring the inventor(s) shall disclose the inventions promptly to the other Party

together with any documentation and information necessary to enable the other

Party to establish any rights to which it may be entitled. Either Party may ask the

other Party in writing to delay publication or public disclosure of such documentation

or information for the purpose of protecting its rights in the invention. Unless

otherwise agreed in writing, the delay shall not exceed a period of six months from

the date of disclosure by the inventing Party to the other Party.

IV. Business Confidential Information

In the event that information identified in a timely fashion as business-confidential is furnished or

created under this Arrangement, each Party and its participants shall protect such information in

accordance with applicable laws, regulations, and administrative practices. Information may be

identified as "business-confidential" if a person having the information may derive an economic

benefit from it or may obtain a competitive advantage over those who do not have it, and the

information is not generally known or publicly available from other sources, and the owner has not

previously made the information available without imposing in a timely manner an obligation to

keep it confidential.